Conduct Rules

Course Overview

How you train your staff on their responsibilities under the conduct rules has been heightened by Consumer Duty, not only with the addition of the 6th individual conduct rule but the overall focus on ensuring your employees are competent to do the jobs they have been recruited to do – that means role specific conduct rules training so they really understand how Conduct Rules 1-6 apply to the role they perform and what is required of them.

The FCA has made it abundantly clear that generic Conduct Rules training will not be sufficient to meet the requirements set out in the Financial Services and Markets Act.

Online or face-to-face sessions can be tailored to your specific requirements. We will work with you to develop role-specific case studies that are fine-tuned to your business and the way it operates.

Larger groups of participants are split into sub-groups during the session, allowing us to cover several job-types in one go, with each syndicate being tasked with considering a tailored case study that relates directly to the role they perform in your business. Break-out rooms are used on remote sessions so that each syndicate group may be facilitated by the trainer to ensure that the learning is properly reinforced.

Course Modules

• Overview of the Conduct Rules
• How the Conduct Rules apply in practice
• Review of syndicate activities
• Questions, answers and key learning points